Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 9, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5627/securities-industry-commentator/

GUEST BLOG [In]Securities: No-Hopers, Jokers and Rogues By Aegis Frumento Esq (BrokeAndBroker.com Blog)

Boeing Charged with 737 Max Fraud Conspiracy and Agrees to Pay over $2.5 Billion (DOJ Release)

Russian Hacker Sentenced To 12 Years In Prison For Involvement In Massive Network Intrusions At U.S. Financial Institutions, Brokerage Firms, A Major News Publication, And Other Companies (DOJ Release)

Accountant Who Aided Worldwide Scam Charged with Small Business Administration Loan Fraud (DOJ Release)

Statement on Proposed 2011 Fraud-Detection Program and Related 2012 Opinion of the DOJ Office of Legal Counsel (SEC Release)

SEC Order Denies Joint Whistleblower Award Claim (SEC Order Determining Whistleblower Award Claim)

SEC Issues Over $1.1 Million to Multiple Whistleblowers (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5626/securities-industry-commentator/

A Business Meal That Wasn't. A Job That's No Longer. A FINRA Regulatory Settlement That Hurts (BrokeAndBroker.com Blog)

Texas Man Sentenced to 2 1/2 Years in Prison for Scheming to Create Fake Airline Employee IDs to Fraudulently Obtain Free Flights (DOJ Release)

FINRA Suspends Rep for Non-Disclosed Felony Drug Charge

In the Matter of Antonio Almeida, Respondent (FINRA AWC)

FINRA Imposes Fine and Suspension for Altered Mutual Fund Switch Forms

In the Matter of Andrew Robert Dougherty, Respondent (FINRA AWC)

FINRA Censures and Fines Firm for Option Position Limits Violations

In the Matter of Western International Securities, Inc., Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5625/securities-industry-commentator/

Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification (BrokeAndBroker.com Blog)

SEC Obtains Final Judgment Against Investment Adviser Who Misappropriated Over $5 Million from Clients (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5624/securities-industry-commentator/

Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal? (BrokeAndBroker.com Blog)

FINRA Imposes Fine and Suspension for Willful Untimely Amendment of Form U4 for Tax Liens

In the Matter of Terry Tzagarakis, Respondent (FINRA AWC)

FINRA Suspends Rep for Affixing 9 Customers' Signatures to Various Documents

In the Matter of Timothy Joseph, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5623/securities-industry-commentator/

FINRA Arbitrator Says It Wasn't UBS Fraud. It Was COVID (BrokeAndBroker.com Blog)

SEC Charges Equialt Managing Director of Investments for Unlawful Sales of Securities to Elderly Retail Investors (SEC Release)

SEC Charges Individuals with Fraud for Misappropriating Investor Funds (SEC Release)

FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded / Firm Also Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations (FINRA Release)

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